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Investigations and White Collar Defense
Insights
Insights
Title
Date
Associated Professionals
A Failure to Supervise: The SEC Casts a Shadow Over Internal Investigations
4/2/2019
By
John P. Nowak
,
Thomas A. Zaccaro
,
Katherine K. Solomon
,
A New Enforcement Agency Joins the World of International Corruption Enforcement: CFTC Announces New Initiative Covering Companies Involved in Foreign Corrupt Practices
3/13/2019
By
Nathaniel Edmonds
,
Tara K. Giunta
,
Michael L. Spafford
,
Daren F. Stanaway
ABA Releases White Paper Regarding Cryptocurrencies and Digital Assets
3/19/2019
By
Michael L. Spafford
,
Daren F. Stanaway
Against the Backdrop of a ‘National Emergency,’ Are Opioid Cos. Ready for the Enforcement Spotlight?
9/6/2017
By
Gary Giampetruzzi
,
Jane H. Yoon
&
Sandra González
An Executive’s Guide to Defeating the SOX 304 Clawback (Part 2)
3/27/2017
By
Michael Spafford
,
Neil Torpey
,
Amy Carpenter-Holmes
&
Joanne Joseph
An Executive’s Guide to Defeating the SOX 304 Clawback (Part I)
3/27/2017
By
Michael Spafford
,
Neil Torpey
,
Amy Carpenter-Holmes
&
Joanne Joseph
Another Life Sciences Company Gets Hit Hard: Olympus Pays $646M to Resolve Corruption Allegations in a Unique Dual FCA / FCPA Resolution
3/28/2016
By
Gary Giampetruzzi
,
Tara Ravi
&
Zachary Zwillinger
Anticorruption Concerns in the Life Sciences Sector
5/15/2013
BY TARA GIUNTA
Anticorruption Enforcement
5/27/2013
BY NATHANIEL EDMONDS
Appellate Court Clarifies FCPA "Instrumentality" Definition
5/19/2014
BY TARA K. GIUNTA, NATHANIEL EDMONDS, MOR WETZLER & IAN HERBERT
Attempting to Fix the "Broken Windows": Recent SEC Enforcement Action Targets Routine Disclosure Obligations of Public Corporations and Their Insiders
10/10/2014
BY
THE INVESTIGATIONS AND WHITE COLLAR DEFENSE PRACTICE
Avoiding FIFA’s Footsteps
4/22/2016
By
Eric H. Sussman
and Cynthia Catlett (Managing Director, Global Risk and Investigations, FTI Consulting)
Blockchain and Cryptocurrencies: A Cross-Border Conundrum
1/28/2019
Michael L. Spafford
,
Daren F. Stanaway
, and
Sabin Chung
Calm Before the Storm: Financial Institutions Should Expect a Wave of Civil and Criminal Investigations Following the Next Panama Papers Release
4/29/2016
By
Amy Carpenter-Holmes
&
Alexandra Anderson
Caution Here: The New Iran Nuclear Accord and the Temporary Easing of Sanctions Do Not (Yet) Mean that Sunny Relations Lie Ahead
11/25/2013
BY SCOTT M. FLICKER & DEVON E. WINKLES
CFTC Action Against Kraft May Be an Important Early Test of CFTC’s New Anti-Fraud Authority
4/15/2015
BY
MICHAEL L. SPAFFORD
,
BUB WINDLE
&
ANNIE CRAIG
CFTC Action Against Kraft May Be an Important Early Test of New Anti-Fraud Authority, Part 2
12/10/2015
By
Michael Spafford
& J. Bub Windle
CFTC and SEC Charge Foreign Trading Platform Transacting in Security-Based Swaps and Commodity Futures with U.S. Investors
11/8/2019
Michael Spafford
,
Joyce Sophia Xu
&
Daren F. Stanaway
cGMP Enforcement and Compliance in the Wake of
Rostholder
7/27/2015
BY
ERIC SUSSMAN
,
TERRA REYNOLDS
&
CHRISTOPHER ALLEN
China Releases New Regulations on Donations to Healthcare Entities: Implications for Multinational Healthcare Companies
11/10/2015
By
Ananda Martin
,
Haiyan Tang
,
Todd Zhou
& Baker Chen
Confronting FCPA and Anti-Corruption Risk in China M&A Deals
6/17/2014
BY
DAVID WANG
,
NATHANIEL EDMONDS
,
ANANDA MARTIN
& JOHN TSO
Counterarguments to SEC Statistical Analysis in Enforcement Actions and Inquiries
2/13/2017
Nicolas Morgan
& Tiago Duarte-Silva
DC Circuit Ruling confirms split on SEC's use of in-house judges
7/10/2017
Nicolas Morgan, Sam Puathasnanon, Thomas Zaccaro, and Kyle Jones
DOJ May Rely on FCPA Policy in Resolving Securities and Financial Fraud Cases
3/6/2018
By
Investigations and White Collar Defense Group
DOJ’s FCPA Enforcement Plan Highlights the Need for Robust Anti-Corruption Compliance Programs
4/13/2016
By
Nathaniel Edmonds
,
Morgan Heavener
&
Ian Herbert
DOJ’s New Focus on Corporate Executives: The Practical Effects
9/14/2015
By
Kenneth M. Breen
,
John P. Nowak
,
Terra Reynolds
&
Christopher Allen
eDiscovery and Disclosure – Italy
3/6/2019
Ever Active and Perhaps Not So New—The SEC Awards Three Dodd-Frank Whistleblowers
6/9/2016
By Gary F. Giampetruzzi, S. Joy Dowdle, Lucy B. Jennings & Daniel F. Newman
Everything Old is New Again: Why the Yates Memo is Constitutionally Suspect
1/11/2016
By
Paul Monnin
&
Eric D. Stolze
Expect More SEC Scrutiny of Defense Attorney Conduct
1/7/2014
BY THOMAS ZACCARO, KENNETH BREEN, & PHARA GUBERMAN
FCPA Declinations - How to Maximize Your Chance to Get a Pass When a Corruption Problem Occurs
5/29/2013
BY NATHANIEL EDMONDS, PALMINA M. FAVA, & MORGAN J. MILLER
First-of-its-kind Action by the SEC
4/4/2016
Thomas A. Zaccaro, Nicolas Morgan, and Peter Brejcha
France Adopts Legal Measures to Combat Corruption Consistent with International Standards
2/18/2016
By
Philippe Bouchez El Ghozi
&
Clémence Auroy
Gift Giving and Insider Trading: The Supreme Court Rules in Government’s Favor in Significant Insider Trading Case
12/7/2016
By
The Investigations and White Collar Defense
&
The Securities Litigation
Practice Groups
Government Missteps Have Created Leverage For Corporations
6/21/2013
BY KIRBY BEHRE, CHRIS HARDJASA, & LAUREN BRIGGERMAN (Reprint of Law360)
Guidance on the U.S. Foreign Corrupt Practices Act from the Department of Justice and the Securities & Exchange Commission: The Key, as with the U.K. Bribery Act and the OECD Anti-Bribery Convention, Is a Robust Compliance Program
11/20/2012
BY THE GLOBAL COMPLIANCE AND DISPUTES PRACTICE GROUP
Guideposts for Handling Corporate Investigations - ABA's
Litigation
Journal
4/15/2015
BY
SAMUEL W. COOPER
HCP Roundtable Anyone? South Korea’s Ministry of Health and Welfare Imposes a $48 Million Fine on Novartis Korea and Suspends Insurance Reimbursement
5/8/2017
By
Gary F. Giampetruzzi
,
Kwame J. Manley
&
Han Kyu Lee
High-Frequency Trading Firms in the Enforcement Crosshairs
12/12/2014
BY
ERIC H. SUSSMAN
,
TERRA L. REYNOLDS
,
EMILY N. DILLINGHAM
,
CHRISTOPHER F. ALLEN
&
EMILY L. SEYMORE
How Broad Is the FCPAs Reach Over the Acts of Foreign Nationals?
3/20/2013
BY PALMINA M. FAVA & MOR WETZLER
Indicting a Foreign Company: Satisfying the Technical Requirements of Criminal Rule 4 by Resorting to the Civil Alter Ego Doctrine?
2/11/2013
BY THOMAS P. O'BRIEN, DANIEL PRINCE, & KATHRYN C. WANNER
Inside Out: The SEC Awards $1 Million Plus to Yet Another Compliance Professional Turned Whistleblower
5/6/2015
BY
GARY F. GIAMPETRUZZI
,
S. JOY DOWDLE
&
LUCY B. JENNINGS
Insider Trading Cases: Likely to Be Litigated in 2013 and Beyond
4/11/2013
BY DOUGLAS KOFF & JOSHUA BENNETT
Insider Trading Questions Remain
12/8/2016
Thomas Zaccaro
,
Nicolas Morgan
&
Jenifer Q. Doan
International Guide to Money Laundering Law and Practice
5/16/2019
By
Arun Srivastava
Landmark Conviction of High Frequency Trader: Assessing the Impact
1/8/2016
By
Eric Sussman
,
Terra Reynolds
,
Christopher Allen
, and
Emily Seymore
Latest Antitrust Plea Shows Continuing Risks Foreign Executives Face From U.S. Government Investigations
11/24/2015
By
Jong Han Kim
,
Jeremy Evans
,
Trisha Chang
&
Frank Lee
Legal Due Diligence in International M&A
1/5/2015
BY
TIMOTHY A. MACKEY
,
MICHAEL L. SPAFFORD
&
BUB WINDLE
Legislative Reform of China’s Healthcare Sector Targets Corruption: Implications for Multinational Companies
8/28/2014
BY
GARY GIAMPETRUZZI
,
ANANDA MARTIN
,
HAIYAN TANG
& BAKER CHEN
Lessons Learned from Pfizers Settlement of FCPA Claims
8/27/2012
BY THE GLOBAL COMPLIANCE & DISPUTES PRACTICE
Libor Convictions Show Increasing Intersection of Antitrust and Fraud Investigations by U.S. Authorities
11/11/2015
By
Jeremy P. Evans
&
Mike Spafford
Line in the Sand: What Actions Bring Foreign Nationals Within Reach of an FCPA Action
3/8/2013
BY THE GLOBAL COMPLIANCE AND DISPUTES PRACTICE GROUP
Market Abuse Regulation - Investment Recommendations
10/31/2016
Lorenzo Parola
&
Francesco Falco
Neither A Whitewash Nor A Witch-Hunt Be: Reclaiming The Independence Of Internal Investigations
10/2/2006
By
Michael Levy
,
Amy Carpenter-Holmes
&
Michael Spafford
New DOJ Task Force to Increase Detection of Collusion in Government Contracting
11/14/2019
By
Michael Spafford
,
Scott Hataway
&
Noah Pinegar
New SEC Initiatives Focus on Financial Reporting and Microcap Stock Trading
7/5/2013
BY THE SECURITIES LITIGATION AND ENFORCEMENT PRACTICE
New York Legislature Sets Statute of Limitations for Martin Act Claims to Six Years
7/3/2019
By
John P. Nowak
,
Anthony Antonelli
&
Jeanette Kang
Non-U.K. Companies to be Prosecuted for Failing to Prevent the Facilitation of Tax Evasion Anywhere in the World
7/28/2017
By
Simon Airey
Not Finished With You Yet—The U.S. Government Extends its Deferred Prosecution Agreement With Biomet, Inc., Again Underscoring the FCPA Risks in Life Sciences
3/26/2015
BY
GARY F. GIAMPETRUZZI
,
S. JOY DOWDLE
&
JENNIFER A. EBLING
Not Guilty, Again: Individual Corporate Liability in the Wake of the Reichel Acquittal
6/22/2016
By
Gary Giampetruzzi
,
Terra Reynolds
& Jahmila Williams
Part I of II—Not a U.S.-Fits-All-Proposition: Four Key Considerations When Building the Compliance Framework to Go Global with Patient Support
4/11/2019
By
Gary A. Giampetruzzi
,
S. Joy Dowdle
,
Jessica Montes
, Aisling Murray
Part II of II—Not a U.S.-Fits-All-Proposition: Four Key Considerations When Building the Compliance Framework to Go Global with Patient Support
4/17/2019
Gary F. Giampetruzzi
,
S. Joy Dowdle
,
Jessica R. Montes
& Aisling Murray
Preparing for Shareholder Lawsuits When Dealing with Foreign Corrupt Practices Act Investigations
8/30/2013
BY SAMUEL W. COOPER, S. JOY DOWDLE, & CHRISTIE A. MATHIS
Private Fund Report—Summary of Key Developments—Spring 2016
7/14/2016
By
The Investment Management
,
Private Investment Funds
,
Securities Litigation
,
Tax
&
Investigations and White Collar Defense
Practices
Private Fund Report—Summary of Key Developments—Summer 2017
8/1/2017
By
The Investment Management
,
Private Investment Funds
,
Securities Litigation
,
Tax
&
Investigations and White Collar Defense
Practices
Q&A: What Disgorgement Means For You
9/25/2017
Nick Morgan
Quarterly FCPA Report: Fourth Quarter 2012
2/7/2013
BY THE GLOBAL COMPLIANCE AND DISPUTES PRACTICE GROUP
Quarterly FCPA Report: Second Quarter 2012
7/20/2012
BY THE GLOBAL COMPLIANCE AND DISPUTES PRACTICE GROUP
Recent Developments Strengthen Chinese Anti-Bribery Law
5/19/2016
By
Ananda Martin
,
Haiyan Tang
& Kevin Yang
Responding to Corporate Criminal Investigations
4/29/2013
BY KIRBY BEHRE & MORGAN MILLER
Review of China Deals in the U.S.: More, Broader, Stricter
2/3/2014
BY HAMILTON LOEB & SCOTT M. FLICKER
Ruling may encourage SEC to pursue broader theories
5/16/2019
By
John Nowak
Salman V. US: Will It Change The 'Personal Benefit' Test?
8/3/2016
By Nicolas Morgan, Thomas Zaccaro, and Jenifer Doan
Sanctions Compliance Shortfalls Result in $1B Global Enforcement Action
4/11/2019
Kwame Manley
,
Scott Flicker
,
Lawrence Kaplan
&
Jeremy Steed
SEC ALJs Continue to Draw Scrutiny
7/22/2016
Nicolas Morgan, Thomas Zaccaro, and Peter Brejcha
SEC Disgorgement Issue Ripe For High Court Review
12/19/2016
Nicolas Morgan
,
Joshua Hamilton
and
Kyle Jones
SEC Easing of 'Accredited Investor' Restrictions: The Benefits
3/2/2017
Nick Morgan
SEC Enforcement Hammer Protects Whistleblowers
8/18/2016
By Thomas Zaccaro, Nicolas Morgan, John P. Nowak, and Kyle M. Jones
SEC Enforcement: Top 10 Developments Under Mary Jo White
6/4/2014
BY
THOMAS A. ZACCARO
,
ELEANOR K. MERCADO
, &
NEIL J. SCHUMACHER
SEC Files First Whistleblower Retaliation Enforcement Action
6/20/2014
BY
THE INVESTIGATIONS AND WHITE COLLAR DEFENSE GROUP
SEC Increases Enforcement Activity in 2014
11/11/2014
BY
THOMAS A. ZACCARO
,
ELEANOR K. MERCADO
&
SARAH KELLY-KILGORE
SEC Requires Hedge Funds to Prevent Insider Trading Despite Unsettled Legal Definition
11/1/2016
By
Nicolas Morgan
,
Thomas A. Zaccaro
,
Art Zwickel
&
Jenifer Q. Doan
SEC Sends a $30 Million-Plus Warning to Companies: Beware of the Foreign Whistleblower
9/30/2014
BY
GARY GIAMPETRUZZI
,
JOY DOWDLE
&
LUCY JENNINGS
SEC Taking Hard Look at Private Equity
6/2/2016
Nicolas Morgan, Sam Puathasnanon, and Thomas Zaccaro
SEC Whistleblower Rules
1/28/2015
By
Mark Pollack
,
Paul Monnin
&
Mor Wetzler
Second Circuit Decision Expands Insider Trading Liability
9/20/2017
By
Thomas Zaccaro
,
Nicolas Morgan
,
Kenneth Breen
,
Douglas Flaum
,
John Nowak
&
Peter Brejcha
SEC's Guilt Admission Policy May Bring Pricey Trials
7/23/2013
BY THOMAS A. ZACCARO, EDWARD HAN, & RACHANA N. FISCHER
Supreme Court says SEC disgorgement is subject to 5-year limitations period
6/12/2017
Thomas Zaccaro, Nicolas Morgan, Peter Brejcha, and Kyle Jones
Take Two—The SEC Adopts Section 1504 Reporting Requirements for Payments to Governments by Oil, Gas, and Mining Companies
7/5/2016
Samuel W. Cooper
,
S. Joy Dowdle
&
Spencer D. Bruck
The Effects of the Supreme Court’s
Lucia v. SEC
Decision across Administrative Agencies
12/19/2018
Charles A. Patrizia
,
Michael L. Spafford
,
Igor V. Timofeyev,
and
Daren F. Stanaway
The European, Middle Eastern and African Investigations Review 2016 - Italy
7/12/2016
By
Bruno Cova
&
Francesca Petronio
The Extraterritorial Reach of the Commodity Exchange Act in the Wake of
Morrison
and Dodd-Frank
7/3/2017
Michael L. Spafford
and
Daren F. Stanaway
The Federal Government’s Ability to Initiate Criminal Proceedings Against Foreign Corporations is About to Get Easier
5/16/2016
By
Daniel Prince
,
Thomas P. O'Brien
,
Margaret N. Buckles
,
John P. Nowak
&
Phara A. Guberman
The Panama Papers Problem: Global Financial Institutions Face Increasing Liability for Clients’ Tax Evasion
5/2/2016
By
Amy Carpenter-Holmes
&
Kenneth Gazzaway
The SEC Clears the Path for Investors as Potential Whistleblowers: Greater Scrutiny May Be on the Horizon During Regulatory Examinations
11/21/2019
Ira Kustin
,
John P. Nowak
,
Michael Spafford
,
Amanda Pober
&
Daren Stanaway
The SEC’s Relentless Focus on Cybersecurity: After WannaCry, Head of Enforcement Says Cybersecurity Is the Greatest Threat to the Industry
7/17/2017
Nicolas Morgan, Robert Silvers, and Adam M. Reich
The Second Circuit Vacates Citigroup Decision and Clarifies Standard of Review for SEC Consent Decrees
6/6/2014
BY
THE INVESTIGATIONS AND WHITE COLLAR DEFENSE GROUP
The Seventh Circuit Curtails Early Appellate Review of Service of Criminal Process on Foreign Corporate Defendants
8/5/2015
By
Stephen B. Kinnaird
,
Thomas P. O’Brien
,
Daniel Prince
&
Igor V. Timofeyev
The So-Called “Bribe Destroyer” Law on Corruption Adopted in Italy
1/25/2019
By
Francesca Petronio
, & Michele Piantanida
The Supreme Court Hears Oral Arguments on the Implied Certification Theory of False Claims Act Liability: Universal Health Services v. United States ex rel. Escobar
4/28/2016
By
Thomas P. O’Brien
,
Daniel Prince
,
Igor V. Timofeyev
, &
James N. Rotstein
The Supreme Court’s Decision in
Lorenzo
: Laying the Groundwork for Expansive Theories of “Scheme Liability” Under the Securities Laws
4/9/2019
The Investigations and White Collar Defense Group
, &
the Securities Litigation Group
The U.S. Follows Through on Temporary Suspension of Sanctions, as Parties Continue to Negotiate Over Irans Nuclear Program
1/21/2014
BY SCOTT M. FLICKER
Time for Supreme Court to Weigh in on Scope of Dodd-Frank Act’s Anti-Retaliation Protection?
9/15/2015
By
Kenneth W. Gage
,
Mark D. Pollack
,
Kelsey G. Van Wart
Top 5 Takeaways From the UK’s New Whistleblower Rules for Financial Services and Insurance Companies
10/13/2015
By
The Workplace Retaliation and Whistleblower Defense
and
The Investigations and White Collar Defense Practice Groups
Top SEC Concerns in Public Company Financial Reporting to Watch in 2017
2/14/2017
Nicolas Morgan
& Jean Chow-Callam
Trade Secrets Protection Continues to be a High Priority for Lawmakers: House Judiciary Committee Approves Bill Creating a Federal Civil Remedy for the Misappropriation of Trade Secrets
9/25/2014
BY
THE INVESTIGATIONS AND WHITE COLLAR DEFENSE GROUP
U.S. Department of Justice May Leverage "Cooperation Credit" to Obtain Foreign-Based Evidence
11/23/2015
By
Thomas P. O'Brien
,
Daniel Prince
&
Brian S. Kaewert
U.S. Switzerland Anti-Tax Evasion Agreement
6/4/2013
BY THOMAS P. O'BRIEN, DANIEL PRINCE, & STEPHEN TURANCHIK
U.S. Targets Russian Insiders President Obama Imposes Additional Sanctions in Response to Ukraine Crisis
3/18/2014
BY THE PAUL HASTINGS GLOBAL TRADE CONTROLS TEAM
Were Prosecutors Too Harsh on Matthew Keys? (Perspective)
8/17/2016
Thomas O'Brien
and
Brian Kaewert
What Comes Next? Against the Backdrop of the Yates Memo, Novartis Announces a $390M Healthcare Settlement
11/2/2015
By
Gary F. Giampetruzzi
,
Terra L. Reynolds
&
Mor Wetzler
What You Need to Know About Insider Trading
11/18/2015
By
Paul N. Monnin
,
Andrea J. Pearson
&
Eric D. Stolze
Whistleblower Award is a Bellwether
10/17/2013
BY THOMAS A. ZACCARO, ELEANOR K. MERCADO, & SARAH KELLY-KILGORE
White Collar Enforcement
5/17/2013
BY KENNETH BREEN & THOMAS ZACCARO
Will Trump SEC End ‘Broken Windows’ Cases Against Advisors and Brokers?
12/22/2016
Nicolas Morgan
Year in review: the SEC in 2016
1/23/2017
Nicolas Morgan
,
Sam Puathasnanon
and
Thomas Zaccaro
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